--- kind: "unit" title: "15" title_heading: "Commerce and Trade" key: "ch2B" level: "chapter" label: "Chapter 2B" heading: "Securities Exchanges" release: "119-102" url: "https://uscodex.org/usc/15/ch2B" sections_count: 95 --- # Chapter 2B — Securities Exchanges Title 15 — Commerce and Trade ## Sections - [§78a. Short title](/usc/15/78a.md) - [§78b. Necessity for regulation](/usc/15/78b.md) - [§78c. Definitions and application](/usc/15/78c.md) - [§78c–1. Swap agreements](/usc/15/78c-1.md) - [§78c–2. Securities-related derivatives](/usc/15/78c-2.md) - [§78c–3. Clearing for security-based swaps](/usc/15/78c-3.md) - [§78c–4. Security-based swap execution facilities](/usc/15/78c-4.md) - [§78c–5. Segregation of assets held as collateral in security-based swap transactions](/usc/15/78c-5.md) - [§78d. Securities and Exchange Commission](/usc/15/78d.md) - [§78d–1. Delegation of functions by Commission](/usc/15/78d-1.md) - [§78d–2. Transfer of functions with respect to assignment of personnel to chairman](/usc/15/78d-2.md) - [§78d–3. Appearance and practice before the Commission](/usc/15/78d-3.md) - [§78d–4. Additional duties of Inspector General](/usc/15/78d-4.md) - [§78d–5. Deadline for completing enforcement investigations and compliance examinations and inspections](/usc/15/78d-5.md) - [§78d–6. Report and certification of internal supervisory controls](/usc/15/78d-6.md) - [§78d–7. Triennial report on personnel management](/usc/15/78d-7.md) - [§78d–8. Annual financial controls audit](/usc/15/78d-8.md) - [§78d–9. Report on oversight of national securities associations](/usc/15/78d-9.md) - [§78e. Transactions on unregistered exchanges](/usc/15/78e.md) - [§78f. National securities exchanges](/usc/15/78f.md) - [§78g. Margin requirements](/usc/15/78g.md) - [§78h. Restrictions on borrowing and lending by members, brokers, and dealers](/usc/15/78h.md) - [§78i. Manipulation of security prices](/usc/15/78i.md) - [§78j. Manipulative and deceptive devices](/usc/15/78j.md) - [§78j–1. Audit requirements](/usc/15/78j-1.md) - [§78j–2. Position limits and position accountability for security-based swaps and large trader reporting](/usc/15/78j-2.md) - [§78j–3. Compensation committees](/usc/15/78j-3.md) - [§78j–4. Recovery of erroneously awarded compensation policy](/usc/15/78j-4.md) - [§78k. Trading by members of exchanges, brokers, and dealers](/usc/15/78k.md) - [§78k–1. National market system for securities; securities information processors](/usc/15/78k-1.md) - [§78l. Registration requirements for securities](/usc/15/78l.md) - [§78l–1. Applications for unlisted trading privileges deemed filed under](/usc/15/78l-1.md) - [§78m. Periodical and other reports](/usc/15/78m.md) - [§78m–1. Reporting and recordkeeping for certain security-based swaps](/usc/15/78m-1.md) - [§78m–2. Reporting requirements regarding coal or other mine safety](/usc/15/78m-2.md) - [§78n. Proxies](/usc/15/78n.md) - [§78n–1. Shareholder approval of executive compensation](/usc/15/78n-1.md) - [§78n–2. Corporate governance](/usc/15/78n-2.md) - [§78o. Registration and regulation of brokers and dealers](/usc/15/78o.md) - [§78o–1. Brokers deemed to be registered](/usc/15/78o-1.md) - [§78o–2. Liabilities arising prior to amendment unaffected](/usc/15/78o-2.md) - [§78o–3. Registered securities associations](/usc/15/78o-3.md) - [§78o–4. Municipal securities](/usc/15/78o-4.md) - [§78o–4a. Commission Office of Municipal Securities](/usc/15/78o-4a.md) - [§78o–5. Government securities brokers and dealers](/usc/15/78o-5.md) - [§78o–6. Securities analysts and research reports](/usc/15/78o-6.md) - [§78o–7. Registration of nationally recognized statistical rating organizations](/usc/15/78o-7.md) - [§78o–8. Universal ratings symbols](/usc/15/78o-8.md) - [§78o–9. Study and rulemaking on assigned credit ratings](/usc/15/78o-9.md) - [§78o–10. Registration and regulation of security-based swap dealers and major security-based swap participants](/usc/15/78o-10.md) - [§78o–11. Credit risk retention](/usc/15/78o-11.md) - [§78p. Directors, officers, and principal stockholders](/usc/15/78p.md) - [§78q. Records and reports](/usc/15/78q.md) - [§78q–1. National system for clearance and settlement of securities transactions](/usc/15/78q-1.md) - [§78q–2. Automated quotation systems for penny stocks](/usc/15/78q-2.md) - [§78r. Liability for misleading statements](/usc/15/78r.md) - [§78s. Registration, responsibilities, and oversight of self-regulatory organizations](/usc/15/78s.md) - [§78t. Liability of controlling persons and persons who aid and abet violations](/usc/15/78t.md) - [§78t–1. Liability to contemporaneous traders for insider trading](/usc/15/78t-1.md) - [§78u. Investigations and actions](/usc/15/78u.md) - [§78u–1. Civil penalties for insider trading](/usc/15/78u-1.md) - [§78u–2. Civil remedies in administrative proceedings](/usc/15/78u-2.md) - [§78u–3. Cease-and-desist proceedings](/usc/15/78u-3.md) - [§78u–4. Private securities litigation](/usc/15/78u-4.md) - [§78u–5. Application of safe harbor for forward-looking statements](/usc/15/78u-5.md) - [§78u–6. Securities whistleblower incentives and protection](/usc/15/78u-6.md) - [§78u–7. Implementation and transition provisions for whistleblower protection](/usc/15/78u-7.md) - [§78v. Hearings by Commission](/usc/15/78v.md) - [§78w. Rules, regulations, and orders; annual reports](/usc/15/78w.md) - [§78x. Public availability of information](/usc/15/78x.md) - [§78y. Court review of orders and rules](/usc/15/78y.md) - [§78z. Unlawful representations](/usc/15/78z.md) - [§78aa. Jurisdiction of offenses and suits](/usc/15/78aa.md) - [§78aa–1. Special provision relating to statute of limitations on private causes of action](/usc/15/78aa-1.md) - [§78bb. Effect on existing law](/usc/15/78bb.md) - [§78cc. Validity of contracts](/usc/15/78cc.md) - [§78dd. Foreign securities exchanges](/usc/15/78dd.md) - [§78dd–1. Prohibited foreign trade practices by issuers](/usc/15/78dd-1.md) - [§78dd–2. Prohibited foreign trade practices by domestic concerns](/usc/15/78dd-2.md) - [§78dd–3. Prohibited foreign trade practices by persons other than issuers or domestic concerns](/usc/15/78dd-3.md) - [§78ee. Transaction fees](/usc/15/78ee.md) - [§78ff. Penalties](/usc/15/78ff.md) - [§78gg. Separability](/usc/15/78gg.md) - [§78hh. Effective date](/usc/15/78hh.md) - [§78hh–1. Effective date of certain sections](/usc/15/78hh-1.md) - [§78ii. Omitted](/usc/15/78ii.md) - [§78jj. Repealed.](/usc/15/78jj.md) - [§78kk. Authorization of appropriations](/usc/15/78kk.md) - [§78ll. Requirements for the EDGAR system](/usc/15/78ll.md) - [§78mm. General exemptive authority](/usc/15/78mm.md) - [§78nn. Tennessee Valley Authority](/usc/15/78nn.md) - [§78oo. Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks](/usc/15/78oo.md) - [§78pp. Investor Advisory Committee](/usc/15/78pp.md) - [§78qq. Small Business Capital Formation Advisory Committee](/usc/15/78qq.md) - [§78rr. Data standards for security-based swap reporting](/usc/15/78rr.md)